RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D••••• R••••• L••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Dec 11, 2017 · Punta Gorda, Fl
- K••••• A•••••••• I••• BD affiliatedJun 5, 2013 to Jan 2, 2018 · Punta Gorda, Fl
- J• W• C••• A•••••••• I••• BD affiliatedOct 5, 2007 to May 31, 2013 · Tampa, Fl
- N•• A•••••• S•••••••• L•• formerFeb 2, 2005 to Oct 5, 2007 · Punta Gorda, Fl
- S•• I••••••••• I••• formerApr 19, 2002 to Feb 3, 2005 · Punta Gorda, Fl
- K••••• A•••••••• I••• to I•••••••• A•••••••• L••left Jan 2, 2018, registered Dec 11, 2017 (-22 days) · Other
- J• W• C••• A•••••••• I••• to K••••• A•••••••• I•••left May 31, 2013, registered Jun 5, 2013 (5 days) · Other
- N•• A•••••• S•••••••• L•• to J• W• C••• A•••••••• I•••left Oct 5, 2007, registered Oct 5, 2007 (0 days) · Other
- S•• I••••••••• I••• to N•• A•••••• S•••••••• L••left Feb 3, 2005, registered Feb 2, 2005 (-1 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address